CETERA INVESTMENT SERVICES LLC
ST. CLOUD, MN

Cetera Investment Services LLC is a self-clearing, registered broker-dealer headquartered in St. Cloud, Florida, with its mailing address located at 400 First Street South, St. Cloud, MN, 56301. Established on December 12, 2012, the firm has a rich history dating back to its formation as a team of bank-centric brokerage visionaries at Bankers Systems Inc., in 1984, with over four decades dedicated to providing financial services specifically tailored for banks and credit unions. The company has evolved into an influential player in the industry, cementing its leadership by becoming self-clearing in 1991 and being approved as an IRA custodian in 1994. Cetera serves exclusively within the financial institution channel under the name 'Cetera Financial Institutions', highlighting their specialized approach through collaborative relationships between financial entities and advisors. Cetera's management team boasts over 12 years of association with the firm, complemented by nearly three decades of industry experience in financial services. Their strategic initiatives include the launch of Traditional and Specialty channels to enhance support for network firms under Cetera’s Advice-Centric Experience. As a member of the Securities Investor Protection Corporation (SIPC) and regulated by FINRA, the company maintains its commitment to delivering comprehensive financial solutions and high-quality investment products aligned with its core focus on wealth management. The firm's significant contributions include integrating Marquette Bank into their platform—a move that expanded their reach in retail wealth management. Underpinned by robust governance, Cetera’s executive structure includes key leaders such as President Leann Rummel, Vice President of Other Gary Chaffin, and Manager Joseph Neary. For more details on the firm’s operations, its dedicated website www.ceterainvestmentservices.com serves as a resource. The company's recent activity is evidenced by the latest annual report filed for 2024 with future planning dated April 29. They are distinguished within Florida's business registry with Filed Number M12000006931 and maintained their state classification as FORL since incorporation.